SEC Form 4 · accession 0001144204-15-066397

Neurotrope, Inc. · NTRP

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Charles S Ramat

Officer — President and CEO · Director

Period of report

Nov 13, 2015

Accepted (ET)

Nov 17, 2015 · 3:35 pm EST

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0001513856

Table I — non-derivative securities

No Table I lines on this filing.

Table II — derivative securities

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Series B Preferred Stock^F1,F8,F2	$0.00	Nov 13, 2015	P	1,667	A	—	—	Common Stock	166,667	166,667	I
Series A Warrant^F1,F8,F3	$0.80	Nov 13, 2015	P	166,667	A	—	Nov 13, 2020	Common Stock	166,667	166,667	I
Series B Warrant^F1,F8,F4	$0.80	Nov 13, 2015	P	166,667	A	—	Nov 13, 2016	Common Stock	166,667	166,667	I
Series C Warrant^F1,F8,F5	$1.25	Nov 13, 2015	P	166,667	A	—	Nov 13, 2020	Common Stock	166,667	166,667	I
Series D Warrant^F1,F8,F6	$1.00	Nov 13, 2015	P	166,667	A	—	—	Common Stock	166,667	166,667	I
Series E Warrant^F1,F8,F7	$1.50	Nov 13, 2015	P	166,667	A	—	—	Common Stock	166,667	166,667	I
Option (right to buy)^F9	$0.60	Nov 13, 2015	A	100,000	A	—	Nov 13, 2025	Common Stock	100,000	100,000	D

Explanation of responses

F1The reported securities are included within units with a purchase price of $0.60 per unit, each unit consisting of one one-hundredth of a share of Series B Preferred Stock, one Series A Warrant, one Series B Warrant, one Series C Warrant, one Series D Warrant and one Series E Warrant.
F2The Series B Preferred Stock may be converted at any time by the holder at an initial conversion ratio of one share of Common Stock per one one-hundredth share of Series B Preferred Stock and have no expiration date.
F3Each Series A Warrant allows the reporting person to acquire, at an exercise price of $0.80 per share with an expiration date five years from the date of issuance, one share of Common Stock subject to adjustment.
F4Each Series B Warrant allows the reporting person to acquire, at an exercise price of $0.80 per share with an expiration date of one year from the date of issuance, one share of Common Stock subject to adjustment.
F5Each Series C Warrant allows the reporting person to acquire, at an exercise price of $1.25 per share with an expiration date of five years from the date of issuance, one share of Common Stock subject to adjustment.
F6Each Series D Warrant will be exercisable only if and to the extent that the Series B Warrants are exercised and will expire on the five year anniversary of the date that the Series B Warrant is initially exercised.
F7Each Series E Warrant will be exercisable only if and to the extent that the Series C Warrants are exercised and will expire on the five year anniversary of the date that the Series C Warrant is initially exercised.
F8Shares held by NTR21 Holdings, LLC. The reporting person is the President of NRT21 Equities Corp, which is the Managing Member of NTR21 Holdings, LLC and has sole voting and investment power over the shares owned thereby.
F9The Option is fully vested as of the date of grant and has an exercise period of ten years from the date of grant which is not reduced by any termination of employment or services.